RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M••••• O••••• A•••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 9, 2025 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDJan 10, 2023 to Apr 23, 2025 · Woodland Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2020 to Dec 20, 2022 · Canoga Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 21, 2015 to Oct 7, 2020 · Santa Monica, Ca
- W••••• F•••••••• S•••••••• L•• formerJun 3, 2015 to Sep 3, 2015 · Pasadena, Ca
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Apr 23, 2025, registered Apr 9, 2025 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 20, 2022, registered Jan 10, 2023 (21 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 7, 2020, registered Oct 13, 2020 (6 days) · Wirehouse to wirehouse · moved with a team
- W••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 3, 2015, registered Sep 21, 2015 (18 days) · RIA to wirehouse
- M••••• O••••• A••••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2025-04-09)Apr 23, 2025 · Advisor changed firm · fact
- M••••• O••••• A••••••• left J••• M••••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2023-01-10)Dec 20, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address